Kenneth O'toole

CRD 4770596 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Wellesley Hills, MA

IA RegisteredBroker

Also appears in the source record as: Kenneth George O'toole; Kenneth O'toole; Ken Otoole; Kenneth George Otoole; Kenneth Otoole

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 66Series 63
Registered states (7): Connecticut · Florida · Massachusetts · New Hampshire · New York · Pennsylvania · Vermont
Years in the industry (source record): 21
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 4770596 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (8)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Wellesley Hills, MA · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Wellesley Hills, MA · BC capacity

start not retrieved → present
E*trade Capital Management, LLC
Boston, MA · IA capacity

Jan 20, 2015 → Jun 26, 2017
E*trade Securities LLC
Boston, MA · BC capacity

Dec 8, 2014 → Jun 26, 2017
Charles Schwab & Co., Inc.
Burlington, MA · IA capacity

May 17, 2011 → Jul 18, 2014
Charles Schwab & Co., Inc.
Burlington, MA · BC capacity

May 10, 2011 → Jul 18, 2014
Strategic Advisers, Inc.
San Francisco, CA · IA capacity

Mar 20, 2006 → Mar 22, 2011
Fidelity Brokerage Services LLC
San Francisco, CA · BC capacity

May 4, 2004 → Mar 18, 2011

Source & corrections

Where this page comes from

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